13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-18, with 5,933 holding rows worth $135,447,811,000.
- Accession
- 0001140361-13-043393
- Filer
- CIK 948046
- Filed
- 2013-11-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 19,068 entries on the cover page, a total value of $135,447,811,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $135,477,810,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10152
- included managerDEUTSCHE ASSET MANAGEMENT LTD028-10154
- included managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Asset Management Schwiez028-11401
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Asset Management Services S.a.r.l028-13923
- included managerOppenheim Kapitalanagegessellschaft mbH028-13920
- included managerSAL Oppenheim Jr. & Cie.AG & Co.KGaA028-13922
- included managerFrankfurt-Trust Invest Luxembourg AG028-13918
- included managerFrankfurt-Trust Investment Gesellschaft mit beschrankter Haftung028-13919
- included managerAbbey Life Assurance Co Ltd.028-13916
- included managerPharma/Wealth Management Co S.A028-13921
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287580 | US CONSUM DISCRE | 750 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 4,600 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 3,400 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 2,144 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYBEROPTICS CORP COM | 232517102 | Stock | 13,300 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BSB BANCORP INC MD | 05573H108 | COM | 6,005 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 15,229 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 3,400 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 20,000 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 2,500 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,720 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 1,350 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOLLAR FINANCIAL CORP 2.875% CB 6/30/2027 - REGIST | 256664AB9 | Bond | 85,000 | $82,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| META PLATFORMS INC CL A | 30303M102 | COM | 33,907 | $81,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 9,411 | $81,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 19,784 | $81,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 2,200 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 4,770 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REVETT MINERALS INC | 761505205 | COM NEW | 71,949 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 3,200 | $80,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 4,476 | $79,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THESTREET INC | 88368Q103 | COM | 38,108 | $79,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 4,224 | $78,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 6,588 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 8,291 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TECHE HLDG CO | 878330109 | COM | 1,700 | $77,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Union Pacific Corporation | 907818108 | COM | 2,373 | $76,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 8,000 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOLASE INC | 090911108 | COMMON STOCK | 39,981 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 3,000 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 324,319 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 5,800 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 14,400 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 10,395 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 75,000 | $75,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| ALIMERA SCIENCES INC | 016259103 | COM | 20,176 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 7,498 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PULTE GROUP INC COM | 745867101 | Stock | 74,845 | $74,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 5,976 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 1,560 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,044 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AQUASITION CORP | Y0192H111 | *W EXP 99/99/999 | 299,031 | $74,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 2,207 | $73,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANDINA ACQUISITION CORP | G0440W126 | *W EXP 03/16/201 | 121,800 | $73,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 7,931 | $72,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| RADIAN GROUP INC COM | 750236101 | Stock | 20,307 | $72,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| INNODATA INC | 457642205 | COM NEW | 27,992 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,600 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,251 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 6,000 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 5,400 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 42,665 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 2,791 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 4,442 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 5,400 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PALMETTO BANCSHARES INC | 697062206 | COM | 5,402 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 4,507 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,600 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TERNIUM SA | 880890108 | SPONSORED ADS | 2,885 | $69,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RADWARE LTD | M81873107 | COMMON STOCK | 4,954 | $69,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 7,400 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 1,150 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 2,800 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 33,331 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 1,000 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 4,000 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 14,000 | $67,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 6,376 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 2,318 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOLAN CO/THE | 25659P402 | COM | 30,201 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GTX INC | 40052B108 | COM | 33,434 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 3,000 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA CORD BLOOD CORP | G21107100 | COM | 17,435 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 37,687 | $65,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CIFC CORP | 12547R105 | COM | 8,305 | $65,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 7,705 | $65,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANZGI INTL & PREM STRATE | 01882X108 | COM | 6,200 | $65,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 4,500 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 18,299 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 9,044 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 3,110 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 3,800 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 2,356 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 84,200 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 3,354 | $63,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 4,600 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 800 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 2,302 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,700 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAFEPRESS INC | 12769A103 | COM | 10,300 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 104,001 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 4,000 | $61,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 825 | $61,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 10,072 | $61,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 25,635 | $61,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 27,450 | $60,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 13,957 | $60,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 2,000 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Susser Petroleum Partners, LP | 869239103 | LTD | 2,000 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 22,339 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 60,000 | $60,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 1,000 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 580 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWMONT CORP | 651639106 | COM | 17,371 | $59,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| KEY TRONIC CORP | 493144109 | COM | 5,782 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 12,768 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BALLANTYNE STRONG INC | 058516105 | COM | 13,971 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DRAGONWAVE INC | 26144M103 | COM | 30,249 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 24,818 | $58,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 6,704 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AWARE INC MASS | 05453N100 | CMN | 10,801 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 1,300 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAGNETEK INC | 559424403 | COMMON STOCK | 3,300 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LAKE SHORE GOLD CORP | 510728108 | COM | 145,700 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORDIA BANCORP INC | 218513109 | COM | 13,280 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares MBS ETF | 464288588 | SHS | 550 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,021 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WHITING PETE CORP NEW | 966387102 | COM | 6,822 | $57,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 11,525 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WALGREEN CO | 931422109 | COM | 7,361 | $56,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 3,000 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANRO CORP | 066800103 | COM | 86,499 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 2,000 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 600 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 40,388 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 680 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,600 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 1,300 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 39,762 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 4,600 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 1,660 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,110 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 13,188 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 199,716 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 4,200 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RED LION HOTELS CORP | 756764106 | COM | 10,612 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 50,000 | $55,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 4,801 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 662 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 2,439 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MTRS CO COM | 37045V100 | Stock | 17,103 | $54,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 4,452 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 2,000 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 1,200 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 4,000 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 6,762 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 10,131 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 2,534 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 4,098 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 763 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPE BANCORP INC | 139209100 | COM | 5,843 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARDERO RES CORP | 14140U105 | COM | 317,581 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIGLARI HLDGS INC | 08986R119 | RIGHT 09/16/2013 | 1,778 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 43,126 | $52,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| iShares Global Healthcare ETF | 464287325 | SHS | 660 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WALGREEN CO | 931422109 | COM | 17,953 | $52,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 4,696 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZCO Liquidating Corp | 67086E303 | COM | 40,523 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,000 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 50,000 | $52,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 4,749 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FISHER ENHANCED BIG CAP GROWTH ETN(FBG) | 90267L508 | ETF | 1,340 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUMMER INFANT INC | 865646103 | COMM STK | 19,102 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 1,050 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 34,693 | $51,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES | 464286848 | EXCHANGE TRADED | 43,236 | $51,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 246,069 | $51,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COGO GROUP INC | G22538105 | ORD SHS | 22,382 | $51,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 16,100 | $51,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 4,000 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,000 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 50,000 | $50,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| TIME WARNER CABLE INC | 88732J207 | COM | 9,527 | $50,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ZAZA ENERGY CORP | 98919T100 | COM | 44,226 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 3,200 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 158,863 | $49,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,968 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 3,400 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 32,544 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 9,352 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 55,000 | $49,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 484 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 3,300 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 40,020 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 1,000 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 2,024 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 1,770 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JETBLUE AIRWAYS CORP | 477143AE1 | DBCV 5.500%10/1 | 30,000 | $48,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 50,000 | $48,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 17,889 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 1,000 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,250 | $47,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 3,846 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Delcath Systems Inc | 24661p104 | COM | 144,905 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 818 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,000 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 4,000 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 570 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 1,450 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 1,200 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 46429B408 | CMN | 1,400 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 1,656 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 2,764 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 3,600 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 2,000 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 1,400 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 3,350 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 8,100 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 2,314 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXFO INC | 302046107 | SUB VTG SHS | 8,212 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 5,271 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| L+L ENERGY INC | 50162D100 | COM | 35,969 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 9,783 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KONA GRILL INC | 50047H201 | COM | 3,957 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 10,300 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 2,552 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,000 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 4,314 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 600 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFRI INC | 552721102 | COMMON STOCK | 3,904 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 938 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288422 | S&P DEV EX-US | 1,194 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $43,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XILINX INC | 983919101 | COM | 10,000 | $43,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 725 | $43,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AXT INC | 00246W103 | COM | 18,787 | $43,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 2,400 | $43,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Dow Chemical Company | 260543103 | COM | 20,725 | $43,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 2,000 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IMAX CORP | 45245E109 | COM | 1,400 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 5,911 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PENNEY J C INC | 708160106 | COM | 15,174 | $42,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CASCADE BANCORP | 147154207 | COM | 7,390 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,500 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 2,460 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KEATING CAPITAL INC | 48722R106 | COM | 5,700 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 30,453 | $41,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Morgan Stanley | 617446448 | COM | 4,690 | $41,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 8,200 | $41,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 350 | $41,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SPLUNK INC | 848637104 | COM | 2,000 | $41,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 5,775 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 3,100 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LAKES GAMING INC COM | 51206P109 | COM | 10,100 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RCS CAP CORP | 74937W102 | COM CL A | 2,510 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 3,000 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 5,200 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 800 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 3,201 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,450 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 7,000 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DOLLAR GEN CORP COM | 256677105 | Stock | 17,602 | $39,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,676 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| U S GLOBAL INVS INC | 902952100 | CL A | 13,700 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 2,047 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THAI FUND INC | 882904105 | CMN | 2,000 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 9,569 | $38,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Mondelez International,Inc. Class A | 609207105 | COM | 7,490 | $38,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 3,200 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,000 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 9,820 | $38,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 2,000 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RENREN INC | 759892102 | SPONSORED ADR | 11,400 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 28,100 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAYFLOWER BANCORP INC | 578321101 | COM | 2,000 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 15,850 | $37,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Schlumberger Limited | 806857108 | COM | 12,261 | $37,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| OCCIDENTAL PETE CORP | 674599105 | COM | 7,872 | $37,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 17,865 | $37,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 6,972 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Hugoton Royalty Trust | 444717102 | COM | 5,000 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTEVAC INC | 461148108 | COM | 6,585 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 4,000 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 1,096 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 8,083 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VODAFONE GP PLC | 92857W209 | ADR | 23,813 | $36,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 71 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 1,798 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 2,000 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OXIGENE INC | 691828404 | COM PAR$.001 | 14,875 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 500 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEOPLES FED BANCSHARES INC | 711037101 | COM | 2,087 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,644 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 1,781 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USMD HLDGS INC | 903313104 | COM | 1,328 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEOSTEM INC | 640650404 | Common equity shares | 4,115 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 23,434 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 2,000 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 4,000 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RYLAND GROUP INC | 783764103 | COM | 2,450 | $34,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 2,000 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 4,400 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 39,200 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 2,000 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 32,500 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 1,000 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 2,766 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 17,594 | $33,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 19,100 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 3,252 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 49,478 | $32,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 400 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 586 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 70,000 | $32,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 800 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARDICA INC | 14141R101 | COM | 25,092 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 800 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DATAWATCH CORP | 237917208 | COM NEW | 1,160 | $32,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 30,105 | $31,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| UnitedHealth Group Inc | 91324P102 | COM | 2,565 | $31,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 2,585 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 13,248 | $31,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 50,001 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HONG KONG TELEVISION NETWK L | 43858G107 | SPONSORED ADR | 5,036 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST FED BNCSHS OF ARKANSAS | 32020F303 | COM | 3,414 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 89,749 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 45,000 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 2,636 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 7,714 | $30,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 268 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POLYMET MINING CORP | 731916102 | COM | 40,000 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,010 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 2,501 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CSP INC | 126389105 | CMN | 4,200 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CACHE INC | 127150308 | COM | 5,032 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SYNACOR INC | 871561106 | COM | 11,255 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 19,568 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Micron Technology,Inc. | 595112103 | COM | 26,000 | $28,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 800 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 15,515 | $28,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 39,571 | $28,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 1,400 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 806 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,500 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,000 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ESSEX RENT CORP COM | 297187106 | Common | 8,501 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 17,187 | $27,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CELGENE CORP | 151020104 | COM | 684 | $27,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 30,463 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 8,006 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bank of America Corp | 060505104 | COM | 29,121 | $26,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Citigroup Inc. | 172967424 | COM | 29,920 | $26,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FORD MTR CO COM | 345370860 | Stock | 9,500 | $26,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| HASBRO INC COM | 418056107 | Stock | 13,087 | $26,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 2,157 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,100 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 428 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 3,803 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 1,600 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIS ACQUISITION LTD | G21490506 | UNIT 99/99/9999 | 2,600 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 3,924 | $25,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PHILLIPS 66 COM | 718546104 | Stock | 4,073 | $25,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MILLS INC COM | 370334104 | Stock | 6,900 | $25,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 3,193 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 9,003 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMBASSADORS GROUP INC | 023177108 | COM | 7,501 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 2,700 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RF MICRO DEVICES INC | 749941AJ9 | NOTE | 25,000 | $25,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 20,364 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| M B T FINANCIAL CORP | 578877102 | Stock | 6,600 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,650 | $24,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 17,501 | $24,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 28,830 | $24,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 3,676 | $24,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,195 | $24,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 2,800 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 582 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,600 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,000 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTELSAT S A | L5140P101 | COM | 1,030 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IDENTIVE GROUP INC | 45170X106 | COM | 33,800 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SARATOGA RES INC | 803521103 | COM | 10,558 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,200 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 17,195 | $23,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| USBANCORPDEL | 902973304 | COM NEW | 15,825 | $23,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 731 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 609 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PDI INC | 69329V100 | COM | 4,806 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 1,000 | $22,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,742 | $22,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 2,024 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 23,113 | $22,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PAMT CORP | 693149106 | COMMON STOCK | 1,300 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 400 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Delta Apparel Inc | 247368103 | COM | 1,387 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| YAHOO INC | 984332106 | COM | 6,742 | $22,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CLAUDE RES INC | 182873109 | COM | 96,022 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VERENIUM CORP | 92340P209 | COM | 5,801 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,600 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 1,200 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL TECH ADVANCED INNOVAT | G39320117 | SHS NEW | 3,600 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AFLAC INC COM | 001055102 | Stock | 4,250 | $21,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,457 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 1,700 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 947 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ID SYSTEMS INC | 449489103 | COM | 3,461 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAXANO SURGICAL | 071773105 | COM | 15,375 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,735 | $20,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Comcast Corp | 20030N101 | COM | 4,208 | $20,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 675 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 3,000 | $20,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 7,064 | $19,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 415 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 767 | $19,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,483 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 1,500 | $19,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ZUOAN FASHION LTD | 98982X103 | SPONSORED ADR | 9,300 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 244 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SLM CORP COM | 78442P106 | Stock | 13,087 | $18,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| LENNOX INTL INC COM | 526107107 | Stock | 950 | $18,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 18,999 | $18,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,034 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MONSANTO CO NEW | 61166W101 | COM | 1,650 | $18,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| MECHEL PREF SPON ADR | 583840509 | COM | 23,400 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,902 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| E M C CORP MASS | 268648102 | COM | 15,500 | $18,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SONDE RESOURCES CORP | 835426107 | COM | 20,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 10,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 5,979 | $18,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,286 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BB&T CORPORATION 5.20% SER G NON-CUM PFD | 054937800 | PFD | 1,000 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,850 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 800 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 1,389 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOSAIC CO COM | 61945C103 | Stock | 1,875 | $17,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 2,100 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 2,425 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 8,700 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Viacom Inc Cl A | 92553P102 | CL A | 213 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VERSAR INC | 925297103 | COM | 4,204 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VISION-SCIENCES INC | 927912105 | COM | 18,082 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 3,500 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 16,350 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 3,095 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Intuitive Surgical,Inc. | 46120E602 | COM | 240 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Tesla Motors, Inc | 88160R101 | COM | 438 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CORNING INC | 219350105 | COM | 10,000 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 250 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 7,562 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EBAY INC. COM | 278642103 | Stock | 14,737 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 639 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,500 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,000 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 1,000 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEDTRONIC INC | 585055106 | COM | 2,723 | $16,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Dow Chemical Company | 260543103 | COM | 6,750 | $16,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Coastal Contacts, Inc. | 19044r207 | COM | 2,700 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 76,000 | $16,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| USA TRUCK INC | 902925106 | COM | 1,800 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 800 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JAPAN EQUITY FD INC | 471057109 | COM | 2,450 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GEEKNET INC | 36846Q203 | COM | 1,013 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 302 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AXOGEN INC | 05463X106 | COM | 3,501 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 3,196 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,244 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEABODY ENERGY CORP | 704549104 | COM | 4,700 | $15,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 1,900 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DANAOS CORP | Y1968P105 | SHS | 3,800 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 700 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALCO STORES INC | 001600105 | COM | 1,100 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares Silver Trust | 46428Q109 | COM | 696 | $14,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 7,900 | $14,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 2,950 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEWLETT PACKARD CO | 428236103 | COM | 4,350 | $14,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PROSHARES | 74347R503 | COMMON STOCK | 500 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 3,902 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| METABOLIX INC | 591018809 | COM | 11,318 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 2,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SILVER BULL RES INC | 827458100 | COM | 40,700 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 1,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INERGY MIDSTREAM LP | 45671U106 | U LTD PARTNERS | 690 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AIRMEDIA GROUP INC | 009411109 | ADR | 8,300 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Charles Schwab Corp | 808513105 | COM | 3,050 | $13,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Honeywell Technologies | 438516106 | COM | 900 | $13,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 12,452 | $13,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HERBALIFE LTD | G4412G101 | COM SHS | 2,865 | $13,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HUNTSMAN CORP | 447011107 | COM | 4,879 | $13,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 2,201 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEWLETT PACKARD CO | 428236103 | COM | 4,353 | $13,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Lineage, Inc. | 536020100 | COM | 5,864 | $13,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 500 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OI S.A. | 670851104 | SPONSORED ADR | 6,886 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QUICKLOGIC CORP | 74837P108 | COM | 5,111 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THERMOGENESIS CORP | 883623308 | COM | 12,905 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 200 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 7,756 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 1,394 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| LEAR CORP COM NEW | 521865204 | Stock | 1,000 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 1,072 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OIL STS INTL INC | 678026105 | COM | 2,400 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| MBIA INC | 55262C100 | COMMON STOCK | 27,993 | $12,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 5,225 | $12,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 600 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| United Parcel Service, Inc | 917286106 | COM | 726 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-043393 | this filing | 2013-11-18 | acceptance time not in the bulk data set |